RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
E••• E•••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 2, 2022 · Greenwich, Ct
- B•• P•••••••• I••• BD affiliatedMay 1, 2021 to Mar 2, 2022 · White Plains, Ny
- M••••• S•••••• • C•• L•• unclassifiedSep 13, 2007 to May 18, 2009 · Purchase, Ny
- B•• P•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Mar 2, 2022, registered Mar 2, 2022 (0 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• • C•• L•• to B•• P•••••••• I•••left May 18, 2009, registered May 1, 2021 (4366 days) · Other
- E••• E••••••••• left B•• P•••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-03-02)Mar 2, 2022 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address